For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
This rule is no longer applicable effective November 11, 2008.
When a member or member organization has delivered a buy-in notice pursuant to Rule 282, or has re-transmitted notice thereof as provided in Rule 285 [¶2285], the initiating member organization must receive and pay for those securities subject to the buy-in notice if tendered prior to the buy-in of such contract.
If the person who, pursuant to Rule 282 [¶2282], is notified prior to the buy-in by a defaulting member or member organization that some or all of the securities (but not less than one trading unit) are in his or its physical possession and will be promptly delivered, then the order to buy-in shall not be executed with respect to such securities, and the initiating member or member organization who has given the original order to buy-in shall accept and pay for such securities, if tendered promptly.
Damages for non-delivery
If such securities are not promptly tendered, the defaulting member or member organization who has stated that they would be promptly delivered shall be liable for any resulting damages.
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Amended: April 18, 1968, effective August 1, 1968; October 24, effective December 2, 1968; May 16, 1983; November 28, 2005 (NYSE-2005-50). Deleted by SR-FINRA-2008-036 eff. Nov. 11, 2008. Selected Notice: 08-64. |